MINUTES OF THE JANUARY 12, 2011
INSTITUTIONAL COMPLIANCE COMMITTEE MEETING
Members Present
Robert Schneller
Raymond Bartlett
Valerie Coleman-Ferguson
Brenda Cook
Mary Dickerson
Kristen Gibson
Javier Hidalgo
Kevin Klotz
Amy Leggio
Carla Ponzio
Emmett Sullivan
Rick Valdez
Brad Wigtil
Members Absent
Javier Hidalgo
Mike Glisson
Others Present
Lisa Castro for Melissa Rockwell
Don Guyton
Darryl Creeks for Floyd Robinson
Cydney Rax
Syed Moinuddin
The meeting convened at 9:03 a.m. in Room 183E of the General Services Building, with the UH
Institutional Compliance Officer, Robert Schneller, conducting the meeting.
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Review of Minutes
The Committee reviewed and approved minutes from the October 13, 2010 meeting.
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Introduction of New Members
The Committee was introduced to Carla Ponzio who will represent Human Resources,
Chris Burton of Purchasing, and Kevin Klotz and Syed Monuddin of Athletics.
New Website and Password
Bob Schneller informed the committee about the new URL for the Environmental Health
and Safety website. http://www.uh.edu/ehs.
The Risk Management website includes information on the Institutional Compliance
Program and may be found at http://www.uh.edu/risk-management
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BOR Report – Don Guyton
Guyton discussed the draft BOR report. He indicated that 15 reports of suspected
compliance problems were received during the prior quarter, the most received thus far.
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Guyton also mentioned that the Institutional Compliance officers will meet on January
12, 2011, and update each other regarding compliance activities at the respective
campuses this part quarter. Schneller added that not as many departments submitted
reports, but for those that did, we received good content. This year’s first quarter
activities report is due the first week of April.
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MySafeCampus – Bob Schneller
Schneller said that 2010 was the most active year so far regarding reporting activities and
it appears that the word is spreading that people now have a vehicle in which to
communicate incidents of a sensitive nature. In addition, Guyton reported that anonymity
is provided to ‘whistle blowers’ via the implementation of an anonymous hotline. Valerie
Coleman-Ferguson added that Legal conducts its own internal investigations to ensure
that anonymous claims are legitimate and actually derive from a staff member.
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Matrix Updates
Schneller discussed the matrix updates which are due March 31, 2011.
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Round Table Discussion
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Carla Ponzio of Human Resources (HR) stated that HR’s I-9 audit was submitted
in February 2010; however, they still haven’t received audit results. She stated
that 64% of UH staff has completed mandatory training. HR generalists are
informing departmental business administrators of those who aren’t compliant.
Ponzio alerted the group that as a result of an IRS regulation released on
December 17, 2010, FICA taxes were reduced to 4.2%. The next checks for both
bi-weekly and monthly exempt employees include a two percent refund for the
over contribution. Additionally, during 2011, withholding taxes will be reduced.
HR plans to send a reminder to staff that adjusted withholding allowances require
a new W-4 to be completed.
Brenda Cook said that Scholarships and Financial Aid received the results of an
external audit and is wrapping up an internal audit regarding its scholarship
operations. Her department is also preparing for a PeopleSoft upgrade 9.0 of the
Student System.
Emmett Sullivan mentioned that Environmental Health and Safety (EHS) hired an
asbestos and safety coordinator in December and indicated this move is a great
start to improve compliance. In addition, EHS will kick off a general safety audit
program that will benefit Plant Operations and other shop workers on campus.
Finally, he mentioned that the university may be faced with more stringent
regulations regarding clean air.
Amy Leggio of University Advancement (UA) said for the past six months her
department’s focus has been to close the UH Law Center’s separate database.
Their plan is to bring Law onto their central database which is Payment Card
Industry compliant. UA will also set up an online giving system for the UH
foundation. Their next project involves the improvement of information sharing
electronically.
Mary Dickerson of University Information Technology (UIT) remarked that last
October saw a successful Security Awareness month. They are currently working
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with security officers in the various colleges on the policies and procedures for
good computer practices. UIT is also reviewing how data is being shred and how
sensitive information is being handled, as well as how data is secured on various
devices. UIT also purchased Identity Finder software, a program that reduces the
risk of data leakage and identity theft by locating and securing personal
information across an organization. UIT is working with all colleges and
departments to ensure that the software is being utilized. Lastly, they are
developing a compliance landscape on IT security requirements; a task that is a
system-wide initiative.
Kristen Gibson of Contract Administration (CA) stated that MAPP and SAM
revisions were approved and are in the process of being rolled out. They are also
reviewing the Board of Regents policy on contract-related matters. Furthermore,
CA is working with the Purchasing Department and will schedule training with
departments to review compliance in regards to contracts.
Kevin Klotz of Athletics mentioned that his department will be selecting athletics
compliance software to assist them in the evaluation process. They will change
and automate how they collect and monitor data. Athletics will also conduct a
comprehensive review of student athletes’ financial aid and determine if it’s
compliant with NCAA rules.
Lisa Castro announced that Facilities Management will roll out its Project
Delivery Process on March 31st; a process that explains to the campus how to get
an approved project completed.
Chris Burton said that Purchasing is reviewing MAPP policies and procedures
regarding the procurement process. He said that purchasing opportunities of at
least $25,000 are posted on the Texas Electronic Business Daily so people can be
aware of what we’re buying and have an opportunity to propose. Burton said they
are also reviewing documents they use for solicitation, as well as the terms and
conditions of purchase orders issued to vendors.
Rick Valdez of Research stated that they successfully filed the report with the
Office of Research Integrity. He reported that there have been no incidents or
alleged misconduct.
Brad Wigtil of Department of Public Safety (DPS) said the department will hire a
new emergency management director which will allow them to better serve the
campus community. Also, recent audits require DPS to maintain and submit a
juvenile jail log. In addition, the Texas Code of Criminal Procedures requires
them to conduct a racial profile for traffic stops only (no more pedestrian stops).
Don Guyton announced that Internal Audit is still executing the audit plan and
external audit reports. The reports will be issued to the Board of Regents by the
end of February.
Next Meeting
The next committee meeting is scheduled for Wednesday, April 13, 2011, at 9:00 a.m. in
room 183E of the General Services Building.
With no further business, the meeting was adjourned at 10:07 a.m.
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